Regulator concerned that investor protection could be weakend
MFDA contingency fund can not provide coverage in Quebec
Ruling restricts regulators’s authority to members only
The Ontario Securities Commission has published a draft order that would exempt a firm from registering as an exchange in Ontario.According to the request for comment, egX Group Inc. and egX Canada Inc. are proposing to carry on business as an exchange in Ontario. It notes that the company is developing a market for the […]
$190.7 million in settlement monies distributed so far, OSC says
Final version includes new vision statement
Regulator notes an increase in the number of managers that are deficient in meeting the minimum requirements
Regulator reached 16,900 of people with 54 presentations, NASAA says
Room for improvement in several areas
Representatives from reporting issuers, industry associations, advisors, and investing organizations invited to apply